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Senior Manager

2 months ago

London, Greater London, United Kingdom London Stock Exchange Full time
About us:

LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. We are dedicated, open-access partners with a dedication to excellence in delivering the services our customers expect from us. With extensive experience, deep knowledge and worldwide presence across financial markets, we enable businesses and economies around the world to fund innovation, handle risk and build jobs. It's how we've contributed to supporting the financial stability and growth of communities and economies globally for more than 300 years.

Through a comprehensive suite of trusted financial market infrastructure services - and our open-access model - we provide the flexibility, stability and trust that enable our customers to pursue their ambitions with confidence and clarity.

LSEG is headquartered in the United Kingdom, with significant operations in 70 countries across EMEA, North America, Latin America and Asia Pacific. We employ 25,000 people globally, more than half located in Asia Pacific. LSEG's ticker symbol is LSEG.

Our people:

People are at the heart of what we do and drive the success of our business. Our culture of connecting, creating opportunity and delivering excellence shape how we believe, how we do things and how we help our people fulfil their potential.

We adopt diversity and actively seek to attract individuals with outstanding backgrounds and perspectives. We break down barriers and encourage partnership, enabling innovation and rapid development of solutions that make a difference. Our workplace generates an enriching and exciting experience for our people and customers alike. Our vision is to build an inclusive culture in which everyone feels encouraged to fulfil their potential.

As a global organisation spanning 70 countries and one rooted in a culture of growth, opportunity, diversity and innovation, LSEG is a place where everyone can grow, develop and fulfil your potential with meaningful careers.

Senior Manager - FC Advisory:

An SMF17 and Financial Crime Lead (Nominated Officer) for two regulated entities within the LSEG portfolio

The role will sit in the central Group Financial Crime Team, and work closely with partners across Capital Markets and Data & Analytics teams, to drive and ensure financial crime compliance and accountability as part of the oversight function.

Role will also be responsible for regulatory reporting, and the monitoring and external reporting of suspicious activity

Role Responsibilities and Key Accountabilities:
  • Oversight of entities' compliance with AML & broader Financial Crime legislation;
  • Holder of Senior Management Function (SMF17) for Money Laundering under the Senior Manager & Certification Regime;
  • Accountable for ensuring compliance with the Group's policies and procedures for countering the risk that the firm may be used to foster Financial Crime;
  • Monitoring, review and external submission of SARs;
  • Regulatory reporting to external regulators and bodies on Financial Crime matters;
  • Reporting to the Entities' Boards, Risk Committees and Senior Management providing transparency, partner concern and oversight of FC matters;
  • Contact point for FC matters, risk events and higher risk scenarios;
  • Oversight of Financial Crime risk assessments to ensure appropriate identification and impact assessment of FC risk within the entities; and assess effectiveness of controls and policies in mitigating risk;
  • Oversight of Financial Crime Operations and monitoring and reporting of MI, KRIs and critical metrics to senior collaborators;
  • Representing FC at internal risk committees, board meetings, steering committees and new product committees to ensure appropriate consideration of FC risk;
  • Provide expert FC Compliance advice to stakeholders based on understanding of legislation, regulatory expectation, risk mitigation and appetite;
  • Promote of Financial Crime Compliance and awareness within the entities and across the Group;
  • Develop and manages relationships with key internal and external partners including central control functions (Risk, Legal, Internal Audit), LSEG Operations, and relevant regulatory bodies;
  • Ensure timely identification, analysis and impact assessment of key regulatory, legislative and geopolitical developments and ensure financial crime risk assessments, policies and procedures are updated accordingly;
  • Work with key business partners to ensure compliance with FC policy and processes and understand local systems and controls;
Qualifications, Skills & Experience:

Required:
  • Relevant professional qualification;
  • Significant knowledge and experience in the understanding and application of applicable regulatory and legal requirements across Financial Crime;
  • Demonstrated subject-matter expertise and deep technical knowledge across the Financial Crime lifecycle;
  • Demonstrated experience in understanding and applying AML & Financial Crime legislation and regulatory mentorship;
  • Experience in writing and reviewing Policy, Standards and Process documentation;
  • Experience in performing Risk & Control Assessments;
  • Experience in a senior role in a Financial Crime oversight function;
  • Experience in the Financial Services and/or within the Capital Markets sector
  • Proven experience providing expert advice and clear presentations to senior partners and regulators on a wide range of financial-crime and regulatory issues;
  • Experience in investigating and reviewing higher risk CDD subject matter;
  • Experience in the application of sophisticated sanctions legislation;
  • Experience working in a sophisticated, multi-disciplinary global organisation and handling critical matters while demonstrating respect and cultural awareness;
  • Ability to think strategically and innovatively
Preferred:
  • Previous experience in an SMF17 or Deputy MLRO role
  • Experience in a financial crime oversight role within the Capital Markets sector;
  • Relevant AML Qualifications or courses completed;
  • Familiarity with data analytics and technology, and tools routinely used in financial crime compliance activities;
LSEG is a leading global financial markets infrastructure and data provider. Our purpose is driving financial stability, empowering economies and enabling customers to create sustainable growth.

Our purpose is the foundation on which our culture is built. Our values of Integrity, Partnership, Excellence and Change underpin our purpose and set the standard for everything we do, every day. They go to the heart of who we are and guide our decision making and everyday actions.

Working with us means that you will be part of a dynamic organisation of 25,000 people across 65 countries. However, we will value your individuality and enable you to bring your true self to work so you can help enrich our diverse workforce. You will be part of a collaborative and creative culture where we encourage new ideas and are committed to sustainability across our global business. You will experience the critical role we have in helping to re-engineer the financial ecosystem to support and drive sustainable economic growth. Together, we are aiming to achieve this growth by accelerating the just transition to net zero, enabling growth of the green economy and creating inclusive economic opportunity.

LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days and wellbeing initiatives.

We are proud to be an equal opportunities employer. This means that we do not discriminate on the basis of anyone's race, religion, colour, national origin, gender, sexual orientation, gender identity, gender expression, age, marital status, veteran status, pregnancy or disability, or any other basis protected under applicable law. Conforming with applicable law, we can reasonably accommodate applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs.

Please take a moment to read this privacy notice carefully, as it describes what personal information London Stock Exchange Group (LSEG) (we) may hold about you, what it's used for, and how it's obtained, your rights and how to contact us as a data subject.

If you are submitting as a Recruitment Agency Partner, it is essential and your responsibility to ensure that candidates applying to LSEG are aware of this privacy notice.

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